Job Function
Legal Support
Description
Job Title: Responsible Officer (SFC Type1)Location: Central, Hong Kong
Main Responsibilities:
- Lead and manage the firm's Type 1 (Securities Trading) regulated activity, ensuring daily operations fully comply with the Securities and Futures Commission (SFC) of Hong Kong regulations, guidelines, and internal policies.
- Act as the SFC's Responsible Officer (RO) for Type 1 license, overseeing and assuming full responsibility for all business activities under this license to ensure regulatory compliance.
- Supervise the trading team and manage the execution of securities trading (including but not limited to equities, bonds, derivatives, etc.), client order processing, and risk management.
- Establish and maintain effective compliance and risk control frameworks. Conduct regular reviews of business processes to mitigate operational and compliance risks.
- Handle client inquiries related to securities trading, maintain key client relationships, and assist in developing new business opportunities.
- Ensure compliance with regulatory requirements regarding trade reporting, record-keeping, and capital adequacy.
- Responsible for the training, supervision, and performance management of team members.
- Handle inquiries and inspections from the SFC and other regulatory bodies.
- Perform other ad-hoc duties as assigned.
Requirements:
- Degree holder or above in Finance, Accounting, Law, or a related discipline.
- Meet the competency requirements for SFC Responsible Officer (Type 1) and eligible for unconditional approval.
- Minimum of 6 years of relevant experience in the financial industry, with at least 3 years gained in securities trading or brokerage services within a financial institution.
- At least 2 years of team management or supervisory experience.
- Excellent command of written and spoken English and Chinese. Fluency in Mandarin is a strong advantage.
- Proficient in relevant trading systems with a solid understanding of the rules and operations of the Hong Kong securities market.
- High level of integrity with a strong sense of responsibility and compliance awareness.
- Immediate availability is highly preferred.
Please send an updated resume in English to our Managing Partner at ec(at)Harbridgepartners(dot)com
Interested in this and other roles? Please send an updated resume in English to CV[@]harbridgepartners[dot]com
Or contact +852 2523 9955 - and ask for Terry Au, Edward Chen, Richard Liu, Cora Pang
Harbridge Partners Limited
Employment Agency License: 79129
Job ID: 81558070